Ariz. Admin. Code § R14-4-129 - Registration Procedures for Dealers and Salesmen
A. Application for registration as a dealer
or salesman may be made by means of the National Association of Securities
Dealers/North American Securities Administrators Association Central
Registration Depository System (CRD System) by applicants entitled to use such
system.
B. A filing of Form BD or
Form U-4 with the CRD System does not constitute an automatic registration in
this state. Dealers or salesmen should not consider themselves registered until
a notice of effective registration has been issued by the Commission.
C. The filing of documents and information
with the CRD System is equivalent to filing with the Commission.
Notes
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
No prior version found.